Mario Saggese
Investment Adviser Representative at Cetera Investment Advisers LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Mario Saggese is an investment adviser representative with Cetera Investment Advisers LLC in Brooklyn, NY, where they have been registered since 2025. They have worked in the securities industry since 2002 and were previously registered with Avantax Advisory Services. They have passed 4 industry qualification exams, including the Series 7 (general securities representative), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in New York and Texas.
Registrations & licenses
- Investment adviser:
- New York, Texas
- Broker:
7 states and territories
California, Florida, New Jersey, New York, North Carolina, Pennsylvania, Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Avantax Investment Services, Inc.Oct 2002 – Sep 2025New York, NY
- 115 117 South Elliott Pl LLCAug 2017 – no end date reportedNew York, NY
- Avantax Advisory ServicesFeb 2018 – Sep 2025New York, NY
- Avantax Insurance Agency and/or Avantax Insurance Services.Jan 2015 – Sep 2025brooklyn, NY
- Cetera Wealth Services, LLCSep 2025 – no end date reportedBrooklyn, NY
- Cetera Investment Advisers LLCSep 2025 – no end date reportedSchaumburg, IL
Official records & sources
Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Cetera Investment Advisers LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Advisory services, investment advisory services, custody services, insurance agency services, sweep programs, and retirement planning resources, along with access to registered and alternative investment products.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 10,459
- Offices listed on AdvisorFinder:
- 27
- Main office:
- Schaumburg, IL
- SEC file number:
- 801-20406
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 13, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Mario Saggese has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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